recent development in this area is the SEC Board’s approval of amendments to the Stock Exchange of Thailand (SET) regulations to improve the screening process for companies applying for SET listing and to

total reported cases, have already been closed. The remaining instances are either newly reported or currently in the process of being addressed. For the reports of investment scams through social

set out in the Taxonomy, and (3) Red tier: Activities that do not fall into Green or Amber tier. For Thailand, it is in the process of developing “Thailand Taxonomy Phase 2” by Working Group on

client assets to provide securities selling services and reduce derivatives positions for transferred clients while the client information collection and KYC is in process, provided that certain conditions

Securities and Exchange Commission (SEC) is in the process of stipulating regulations in support of Thailand ESG Fund.   SEC Secretary-General Pornanong Budsaratragoon stated: “On 20 November 2023, the

client information. This also includes disclosure of information to clients ensuring that they are fully and accurately informed about the application process for service usage;  (2) Rectifying the asset

criminal complaint by the SEC is only the beginning of the criminal enforcement process. As to whether any persons are offenders shall be subject to the investigation of the inquiry official, the prosecution

National Economic and Social Development Plan No. 13 and the policies and directions for the new Thai Capital Market Development Plan. In the process of establishing the Strategic Plan, the SEC monitored and

Investment, particularly on the practices of integrating ESG factors in the investment process. At this webinar, experts from PRI as well as global market practitioners, who are PRI signatories, shared

. Throughout the process of consideration for imposing administrative orders on the licensee mentioned above, the SEC Board had fully taken into account the company’s petitions for justice submitted to the